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Canada (508,846)
MIS 4500 (31)
Lecture

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Department
Management Info. Systems
Course
MIS 4500
Professor
Pourang Irani
Semester
Winter

Description
Lecture 1: Code of Ethics and Standards of Professional Conduct Standards of Practice Handbook CFA Institute Professional Conduct Program:  2 basic principles: 1. fair process; 2. confidentiality  Board of Governors  Professional Conduct Program  Disciplinary Review Committee: responsible for enforcement of code and standards  CFA Institute Designated Officer, Professional Conduct Staff: conduct inquiries: o 1. self-disclosures, 2. written complaints, 3. media, 4. exam proctors o 1. interview subject, 2. interview complainant, 3. collect docs o No disciplinary sanction; cautionary letters; continue proceedings o Designated Officer proposes discipline; if rejected then panel of CFA Institute members Code and Standards:  encourages firms to also adopt Code of Ethics I. Act with integrity, competence, diligence, respect, and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets. II. Place integrity of the investment profession and the interests of clients above their own personal interests. III. Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activi
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